IV. PROPOSED SYSTEM

A.      Overview

The State intends to use the California Statewide Fingerprint Imaging System (CA SFIS) as a repository of records. Each record in the CA SFIS database will represent an individual who has applied for one or more of the State’s health and/or welfare programs; each record will be unique, i.e., an individual will have one and only one record in the CA SFIS database.

In order to achieve this goal, the CA SFIS must be capable of two broad requirements: 1., the system must process the total ongoing number of health and welfare program applications expected in the State; and, 2., the system must be capable of identifying individuals who may attempt (either unknowingly or willfully) to represent themselves as another person to the system. These two broad requirements are here after referred to as Workload and Accuracy.

From a global view, the system will gather demographic and image data from individuals, determine if the person is already in the CA SFIS database (determine "membership"), add the person to the database if that person is not "known" to the CA SFIS, and, finally, report the membership determination or action to the appropriate user(s) of the system.

The CA SFIS will be a State-wide system; there is no requirement to interface with another fingerprint imaging welfare system. However, the State desires to acquire a Statewide Fingerprint Imaging System that is capable, at some unspecified later date, of interfacing with other State and/or Federal fingerprint imaging systems.

The purpose of this section is:

o                    to inform the Bidders how the State envisions use of the CA SFIS in day to day operations;

o                    describe the State’s concept of a phased implementation of the CA SFIS;

o                    state the expected workload of the CA SFIS in terms of the daily welfare applications workload expected at each County Welfare Office in the State; and,

o                    state the predicted workload growth of CA SFIS and the size of the CA SFIS database over the six (6) year term of the Contract.

B.      Proposed Operation of SFIS

1.         Normal Operation

Fingerprint imaging and photo match will be required as a condition of eligibility for adult applicants and beneficiaries of specified health and welfare benefit programs; this requirement includes all adults (aided and unaided) in the case, and minor parents applying separately. For the Food Stamps program, the fingerprint imaging and photo match will be a requirement of issuance.

2.         Exceptions

Exceptions to the normal process fall into two categories; permanent and temporary. For temporary exceptions, a control will be set to call the individual in at a latter time to complete the process.

3.         Proposed Workflow Diagram

Diagram IV.B.1. Proposed CA SFIS Workflow

[the above diagram is available as a VISIO file from thomas@ ruggles.com]

 

4.         Process Description

Start

 

Point 1

[Operator interfacing with SAWS TA using a FILE CLEARANCE function hosted on either a County Workstation or a CA SFIS Workstation]

The operator will initiate a FILE CLEARANCE with the SAWS TA on either a County Workstation or a CA SFIS Workstation (see Section IV.F.1., File Clearance Function).

The operator will enter all demographic data pertaining to the client using an input template displayed on the FILE CLEARANCE screen. After all demographic data has been entered, a FILE CLEARANCE SEARCH based on demographics will be initiated.

During the FILE CLEARANCE function, the operator will reach one of two conclusions; the client has a CIN or a new CIN must be assigned to the client. In either case, a CIN is established for the client.

Point 2

[Operator working on a CA SFIS Input Workstation]

Operator enters CIN (determined in Point 1). Alternately, the operator can enter any other client-specific number (e.g., Social Security Number [SSN], Local Welfare Number, etc.). If a number other than a CIN is entered, one of two events will take place; 1., if the number is unique (i.e., only one record in the CA SFIS carries that number, the system will continue processing at Point 3; or, 2., if the number is not unique (e.g., two CA SFIS records having the same SSN) the system will retrieve all records with that number and display the photo images of each record so that the operator can make a decision as to which record is correct. If the latter condition occurs, processing will advance to Point 3 when the operator makes a record selection.

Point 3

[Workstation Application]

Workstation application creates a transaction with SAWS TA to retrieve demographic information related to the CIN entered in Point 2.

Point 4

[Workstation Application]

Workstation application displays the demographic data in appropriate fields on the CA SFIS Input Workstation screen.

If the demographic information is not available from the SAWS TA, the operator will enter the client’s demographic information at this point.

Workstation application creates and sends a request to the CA SFIS Central Site for the Photo image corresponding to the CIN.

Point 5

[CA SFIS Central Site System]

The Central Site system will determine if the CIN is in the CA SFIS database; if it is, processing continues to Point 6; if it is not, the processing continues to Point 21.

 

Point 6

[CA SFIS Central Site System]

The Central Site system sends the (compressed) photo image to the CA SFIS workstation.

[Workstation Application]

The workstation applications displays the photo image on the same screen as the demographics display.

Point 7

[CA SFIS Workstation Operator]

Using the demographics and photo image displayed on the input workstation screen, the workstation operator makes a decision as to whether or not the client who is about to be entered into the SFIS is the same client who was assigned the CIN at the State workstation during FILE CLEARANCE.

If the operator decides that a mistake has been made (i.e., the client does not correspond to the CIN), the SFIS input transaction is aborted (Point 8).

If the operator is satisfied that the CIN corresponds to the client, processing is continued to Point 9.

Point 8

[CA SFIS Workstation Operator]

Abort input transaction.

[Workstation Application]

The transaction corresponding to the CIN being processed is aborted.

Points 9&10

[Central Site System]

In preparation for a CLOSED SEARCH, the CA SFIS Central Site system retrieves the fingerprint images corresponding to the CIN number being processed.

A CLOSED SEARCH match is made between the images of the record currently being input and the images pointed to by the CIN number in the CA SFIS database.

Point 11

[Central Site System]

The Central Site automatically makes a "Match", "No-Match" determination.

If "No-Match", the search result (i.e., search images and "target" images) is automatically sent to the Central Site Validation Queue (Point 12).

If "Match" the transaction is advanced to Point 17.

 

Point 12, 13

[Central Site System]

At this point, the CLOSED SEARCH match should have produced a "Hit" result ( a supposedly valid CIN was found for the client and the CIN was in the SFIS database);

The Central Site system inserts the "No-Hit" search result (i.e., search images and "target" images) into the Central Site Validation Queue.

If the Central Site Verification operator determines "No-Match", the search transaction is automatically advanced to Point 14.

If the Central Site Verification operator determines "Match" the transaction is advanced to Point 18.

Point 14 & 16

(Point 15 deleted)

[Central Site System]

The system will print a notification on the CA SFIS printer at the site that submitted the search that the CIN used in the search transaction is incorrect.

The CA SFIS Central Site system will close out the transaction.

All CA SFIS related processing steps for this client must be re-initiated from Point 2.

Point 17

[Central Site System]

CLOSED SEARCH "HITs" determined by the system (Point 11) may be validated by Central Site Validation operators. The determination of whether or not a validation will be performed will be set in a BYPASS VALIDATION LOOKUP TABLE that can be updated ONLY by the State Project Manager and/or State System Administrator. The BYPASS VALIDATION LOOKUP TABLE will contain rows representing each County Welfare input site in the CA SFIS.

If a particular site has a VALIDATE YES/NO field in it’s row set to YES, all transactions processed from that site at Point 17 will be sent to the Central Site Validation operators (Point 12).

If a particular site has a VALIDATE YES/NO field in it’s row set to NO, all transactions processed from that site at Point 17 will be sent to Point 18.

Point 18

[Central Site System]

The CA SFIS Central Site system will print the search response on the CA SFIS Input Workstation printer at the site that submitted the search transaction. The printed search response will include all demographics obtained by the system for the search candidate and side-by-side images of the search candidate photo and (if applicable) the photo of the "HIT" candidate(s). If requested by the operator, side-by-side fingerprint image printouts will be made part of the printed search response.

 

Point 19

[CA SFIS Central Site System]

The CA SFIS Central Site system will automatically send a notification of the search result to the SAWS TA (see Section IV.F.7., SFIS Search Result Notification).

If required, the Central Site system will automatically send a Fingerprint Imaging Reschedule Notification to SAWS TA (see Section IV.F.6.).

Point 20

[Central Site System]

The CA SFIS Central Site system will close out the transaction.

Point 21

[CA SFIS Central Site System]

OPEN SEARCH

At Point 5, the Central Site system will determine if the CIN is in the CA SFIS database; if it is not, the search transaction is automatically submitted as an OPEN SEARCH.

The Central Site system uses the search request data to conduct an OPEN SEARCH of the CA SFIS database.

Point 22

[CA SFIS Central Site System]

After the matcher subsystem completes the OPEN SEARCH, the result of the OPEN SEARCH may be either a "NO CANDIDATES FOUND" indication or a list of possible candidates.

If the search produces a "NO CANDIDATES FOUND" result, processing continues to Point 23.

If the search produces a list of candidates (1-5), the candidate images and the search images will be sent to the Central Site Validation Queue

The Central Site system inserts the "No-Hit" search result (i.e., search images and "target" images) into the Central Site Validation Queue (Point 27).

Point 23

[CA SFIS Central Site System]

The CA SFIS Central Site system will print the "NO CANDIDATES FOUND" search response on the CA SFIS Input Workstation printer at the site that submitted the search transaction. The printed search response will include all demographics obtained by the system for the search candidate and the photo of the search record. If requested by the operator, fingerprint image printouts of the search candidate will be made part of the printed search response.

Point 24

[CA SFIS Central Site System]

The CA SFIS Central Site system will add the search record to the CA SFIS database. At this point, the data in the search record will be made immediately available as a "target" record for subsequent search requests.

 

Point 25

[Central Site System]

The CA SFIS Central Site system will automatically send a notification of the search result to the SAWS TA (see Section IV.F.7., SFIS Search Result Notification).

If required, the Central Site system will automatically send a Fingerprint Imaging Reschedule Notification to SAWS TA (see Section IV.F.6.).[Central Site System]

If the FILE CLEARANCE requested at Point 2 is negative (i.e., the SAWS TACI returns either zero FILE CLEARANCE candidates or more than one candidate), the Central Site system will automatically initiate an OPEN SEARCH of the CA SFIS fingerprint image database.

Point 26

[Central Site System]

The CA SFIS Central Site system will close out the transaction.

Point 27, 28

[Central Site System]

At this point, the OPEN SEARCH match has produced a candidate list of possible matches to the search record.

The Central Site system inserts the search result (i.e., search images and "target" images) into the Central Site Validation Queue.

If the Central Site Verification operator determines "No-Match", the search transaction result (i.e., search images and "target" images)client record is automatically advanced to Point 29.sent to the Central Site Validation Queue (Point 12)OPEN SEARCH processing.

If the Central Site Verification operator determines "Match" the transaction is advanced to Point 337.

Point 29

[CA SFIS Central Site System]

The CA SFIS Central Site system will add the search record to the CA SFIS database. At this point, the data in the search record will be made immediately available as a "target" record for subsequent search requests.

Point 30

[CA SFIS Central Site System]

The CA SFIS Central Site system will print the "NO HIT" search response on the CA SFIS Input Workstation printer at the site that submitted the search transaction. The printed search response will include all demographics obtained by the system for the search candidate and the photo of the search record. If requested by the operator, fingerprint image printouts of the search candidate will be made part of the printed search response.

 

 Point 31

[Central Site System]

The CA SFIS Central Site system will automatically send a notification of the search result to the SAWS TA (see Section IV.F.7., SFIS Search Result Notification).

If required, the Central Site system will automatically send a Fingerprint Imaging Reschedule Notification to SAWS TA (see Section IV.F.6.).

 

 

Point 32

[Central Site System]

The CA SFIS Central Site system will close out the transaction.

 

 

Point 33

[Central Site System]

The CA SFIS Central Site system will automatically send a notification of the search result to the SAWS TA (see Section IV.F.7., SFIS Search Result Notification).

If required, the Central Site system will automatically send a Fingerprint Imaging Reschedule Notification to SAWS TA (see Section IV.F.6.).

The CA SFIS will combine all "Hit" records under the CIN defined by the SAWS TA.

 

 

Point 34

[CA SFIS Central Site System]

The CA SFIS Central Site system will print the search result on the CA SFIS Input Workstation printer at the site that submitted the search transaction.

 

 

Point 35

[Central Site System]

The CA SFIS Central Site system will close out the transaction.

 

 

 

C.      System Workload

For the purpose of stating the expected CA SFIS workload requirement within this RFP, the State has made the assumption that every OPEN SEARCH request will result in an "Add" to the CA SFIS database. Further, it is the State’s policy that every applicant will be tracked within the CA SFIS database regardless of whether or not the applicant’s petition for welfare is accepted or denied.

During the first eleven (11) months of system operation, the CA SFIS must accommodate two types of input transactions: 1., input transactions that are a result of the daily workload of welfare applications and, 2., input transactions that result from the input of currently active welfare recipients. In the text that follows, the former type of transaction may be referred to as the "Daily Application Workload" or "Daily Applications" and the latter type of transaction as "Existing Caseload Transactions" or "Existing Caseload". After all "Existing Caseload" records have been input to the CA SFIS database (after eleven months of system operation), 60% of "Daily Applications" will be composed of applications from clients who are already in the CA SFIS database ("Old" clients) and 40% of "Daily Applications" will be from clients who have never been registered to the CA SFIS database ("New" clients).

Given the workflow diagram shown in Diagram IV.B.1., one of the first steps in the CA SFIS input process is to conduct a Statewide Automated Welfare System, Technical Architecture (SAWS TA)-based FILE CLEARANCE using demographic data collected from the client during the current application process. The State expects that a high percentage of FILE CLEARANCE transactions from "Old" clients will result in a FILE CLEARANCE "Hit" and that the subsequent CA SFIS CLOSED SEARCH will also produce a "Hit" result. The State further expects that, when a FILE CLEARANCE "Hit" is followed by a CA SFIS CLOSED SEARCH "Hit",

o        the CA SFIS "Hit" will be verified at one of the Central Site Verification Workstations,

o        a verification notice will be sent to the input site, and

o        the transaction will be closed.

 Most "Existing Caseload Transactions" will not, at the time that the transaction is submitted, be in the CA SFIS database; these transactions will be searched within CA SFIS by means of an OPEN SEARCH.

The following paragraphs and tables are meant to give the Bidder a list of expected CA SFIS workload requirements. Tables IV.C.1.1. through IV.C.1.3. list workload requirements that result from the expected number of "Daily Applications". Table IV.C.4. deals with the number of "Existing Caseload Transactions" that are associated with the addition of approximately 1.14 million existing welfare client records into the CA SFIS database.

Tables IV.C.1. and IV.C.2 define the distribution of "Daily Application" workload within the eight (8) hour workday at each County Office. Because the number of daily client applications to SFIS is expected to grow at a rate of 2.0% per annum, the number of daily client applications at any particular office is expected to increase from year to year. Therefore, in order to give the Bidder a clear understanding of the workload distribution in the State and also how this workload differs from year to year, the following tables show the daily client application workload distribution in the 12th month and the 65th month of system operation. The workload represents 100% of the caseload for the AFDC, Food Stamps, and General Assistance programs.

For the purpose of this RFP, the State will assume that the workload will remain constant with respect to any particular work day within a month; therefore, the hourly distribution of the "Daily Applications" within the eight (8) hour workday at each County Office as shown in the following tables represents the peak hourly throughput rates at each County Office during the indicated month.

Bidders may assume that the workload in the intervening months between Month 12 and Month 65 will increase in a linear manner from the workload level shown in Table IV.C.1. (Month 12) to the workload level shown in Table IV.C.2. (Month 65).

·               Tables IV.C.1. and IV.C.2.

The purpose of these tables is to define how the "Daily Applications" workload from each Office in a particular County is distributed, by hour, across an eight hour workday (8AM to 4PM) in Months 12 and 65 of system operations.

For each hour in the eight hour Welfare Office workday, the table lists the expected number of "Daily Applications" that will be requested in that hour during a particular month.

The table lists

·               the name of the County,

·               the Social Service Offices in that County,

·               the percentage of the County Client Applications workload performed at each Social Services Office within the County; and,

·               by hour, the number of "Daily Applications" that will be requested from each Office in that County.

In each row, the total number of "Daily Applications" at each Office in each County are distributed across the normal workday as follows:

·               Hour 1 (08-09) - 10.0% of workload

·               Hour 2 (09-10) - 19.1% of workload

·               Hour 3 (10-11) - 23.9% of workload

·               Hour 4 (11-12) - 18.6% of workload

·               Hour 5 (12-1) - 5.8% of workload

·               Hour 6 (1-2) - 5.9% of workload

·               Hour 7 (2-3) - 9.7% of workload

·               Hour 8 (3-4) - 7.0% of workload

From the transaction rate percentages shown above, Hours 3 is the "peak" hour for the day and the highest number of transactions per hour will occur during Hour 3. However, in the spreadsheet used to develop the following tables, the number of transactions in Hour 3 has been adjusted to compensate for spreadsheet rounding errors.

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.1. Number Of "Daily Applications" At Each County Office Per Hour In Month 12

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

Table IV.C.2. Number Of "Daily Applications" At Each County Office Per Hour In Month 65

(continued)

 

Table IV.C.3. defines the distribution of "Daily Application" workload within the eight (8) hour workday from all Counties in months 12 and 65 of system operations. The number of "Daily Application" transactions per hour shown in this table represents the workload expected at the CA SFIS Central Site.

  • Table IV.C.3.

The purpose of this table is to define the total (per day per hour) number of "Daily Applications" that can be expected at the CA SFIS Central Site as a result of "Daily Applications" from all County Welfare Offices in the State in Months 12 and 65 of system operations.

Each row of the table lists

  • the month since system operations began, and,
  • for any workday within that month, the total number of "Daily Applications" that can be expected at the CA SFIS Central Site in a particular hour of the workday (8AM-4PM) as a result of "Daily Applications" from all County Social Service Offices in the State during that month of system operations.

Table IV.C.3. Summary of "Daily Applications" Workload From All Workstations Per Hour

During the first eleven (11) months of system operations, County Social Service Offices will add two types of records to the CA SFIS database: 1., the 1.14 million "Existing" clients; and, 2., "New" clients. During this time, up to 187,078 "Existing" client records and approximately 15% of the "Daily Applications" will be added to the CA SFIS database EACH MONTH.

 

Tables IV.C.1. through IV.C.3., above, deal exclusively with the rate of "Daily Applications" made at Remote Input Workstations.

The following table, Table IV.C.4., deals exclusively with the rate of "Existing" client additions to the database.

  • Table IV.C.4.

The "Existing Caseload Transactions" listed in this Table pertain to the 1.14 million current, active clients who will be scheduled to register into the CA SFIS system over an eleven (11) month period.6 Clients will be scheduled to appear so as to maintain a constant number of "Existing Caseload" registrations per hour during the eight hour "normal" workday (8AM to 4PM).

The "Existing Caseload Transactions" listed in this Table must be processed in addition to the "Daily Applications" workload (as defined in Tables IV.C.1. through IV.C.3.).

 

Table IV.C.4. Existing Client Record Conversion Workload Per Hour

Table IV.C.4. Existing Client Record Conversion Workload Per Hour

(continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

Table IV.C.4. Existing Client Record Conversion Workload Per Hour (continued)

 

D.      Phased Implementation Schedule

The State wishes to implement the CA SFIS in a series of phases as follows:

1.         Phase 1

The intent of the Phase 1 system implementation is to operate the system on a small scale, work with the Contractor to identify and correct possible CA SFIS application problems, and test the CA SFIS network. The primary focus of Phase 1 is operational use of the system; the secondary focus of Phase 1 is to identify possible system problems.

Immediately following successful completion of the Factory Acceptance Test, the Contractor will be given 30 calendar days to install the Central Site equipment and install workstations at 10% of the CA SFIS County Welfare Offices. All Phase 1 workstation installations will be contained geographically in a particular county or a set of counties.

Prior to actual use of the system, a Phase 1 System Functionality and Accuracy Test will be conducted on the CA SFIS. The Phase 1 System Functionality and Accuracy Test will essentially be a re-run of the Factory Acceptance Test; the primary purpose of this test is to confirm the functionality of the system, the system’s accuracy against the (converted) AFIRM database, and conformance to the response time requirements of the system.

The workstations installed in Phase 1 will process "Daily Applications" as well as "Existing Caseload Transactions". The Phase 1 system will be operated for two calendar months; during this time, it is expected that most system functional problems and/or network problems will be encountered and repaired.

2.         Phase 2

The intent of the Phase 2 system implementation is to operate the system on a medium scale and to identify problems that may be associated with an increased workload. The State will also continue to work with the Contractor to identify and correct CA SFIS application problems and test the CA SFIS network.

After the Contractor has successfully completed the Phase 1 System Functionality and Accuracy Test and during the time of the two month Phase 1 period, the Contractor is expected to begin installation of workstations at an additional 30% of CA SFIS sites. Phase 2 workstation installations may be contained geographically to a particular county or a set of contiguous counties.

 

At the end of the two month Phase 1 period, a Phase 2 System Functionality and Accuracy Test will be conducted on the CA SFIS. The Phase 2 System Functionality and Accuracy Test will essentially be a re-run of the Phase 1 System Functionality and Accuracy Test with more input sites attached to the system and an increased workload.

The Phase 2 workstations will process "Daily Applications" as well as "Existing Caseload Transactions". The Phase 2 system will be operated for two calendar months. Problems related to an increased volume workload are expected to be resolved within the two month operation of Phase 2.

3.         Phase 3

After the Contractor has successfully completed the Phase 2 System Functionality and Accuracy Test and during the time of the two month Phase 2 period, the Contractor is expected to complete the installation of all Remote Workstations in the CA SFIS.

A Phase 3 Comprehensive Test will be conducted on the CA SFIS. The Phase 3 Comprehensive Test will be composed of three parts;

o                    Phase 3, Part 1 – Functionality, Response Time, and Full-System Load Test: Part 1 will test the functionality of the system and response time capabilities of the system; in this regard, the Part 1 test will be equivalent to the Factory Acceptance Test and the Phase 1 and Phase 2 System Functionality and Accuracy Tests except that the accuracy of the system will not be checked in this part of the Phase 3 testing (Phase 3 accuracy testing will occur in Phase 3, Part 3 -- System Accuracy Test). Additionally, the Part 1 test will test the system under a full workload condition. The functionality and response time portions of the Part 1 test will be run within a two day period during off-hours and/or on a weekend. The Full-System Load Test will be run over a three day period during operational use of the system; during this time the system must show that it is capable of processing the Month 65 workload, specified in Table IV.C.3., for three consecutive days. After the Part 1 test is successfully completed, the system will be put in operational use and the Phase 3, Part 2 testing period will begin.

o                    Phase 3, Part 2 – Acceptance Test: Part 2 will test the reliability of the system. Part 2 will be run according to the Contract. The Part 2 Acceptance test is expected to commence as soon as the Phase 3, Part 1 test has been successfully completed.

o                    Phase 3, Part 3 – System Accuracy Test: Part 3 will test the accuracy of the system using a database that has all "converted" records loaded on the system. The Part 3 (Accuracy) test is expected to be run in month 12 of system operation (see Table IV.E.1.); all "Existing Record Conversion" must be complete before the Part 3 test can begin. The Part 3 testing will take place during system off-hours and/or weekend(s).

 

4.         Phased Implementation Schedule

The following table is meant to summarize the information presented in paragraphs 1 to 3, above.

[Note: "Beginning Date" is expressed in number of months after final signature of the contract by the State. "Duration" is expressed in calendar days or calendar months.]

Event

Beginning Date

Duration

Description

Reference(s)

Contract Signature

 

 

 

 

Factory Acceptance Test

6 months

2 days

Test functionality and response time(s) of the system.

Requirements in Section VI.

Phase 1 System Functionality and Accuracy Test

7 months

2 days

Test functionality and response time(s) of the system.

Requirements in Section VI.

Phase 1

After successful completion of Phase 1 System Functionality and Accuracy Test

2 months

Operational use of the system with 10% of Remote Workstations installed.

 

Phase 2 System Functionality and Accuracy Test

9 months

2 days

Test functionality and response time(s) of the system.

Requirements in Section VI.

Phase 2

After successful completion of Phase 2 System Functionality and Accuracy Test

2 months

Operational use of the system with 40% of Remote Workstations installed.

 

Table IV.D.1. Phased Implementation Schedule

Event

Beginning Date

Duration

Description

Reference(s)

Phase 3 Comprehensive Test, Part 1

11 months

2 days to test functionality and response time(s). 3 days of operational use to conduct Full-System Load Test.

Test functionality and response time(s) of the system. Additionally, the system will be run for three days with all sites inputting the full Month 12 workload.

Requirements in Section VI.

 

Table IV.C.1.

Phase 3 Comprehensive Test, Part 2

After successful completion of Phase 3, Part 1 test.

90 days

Test reliability of the CA SFIS under operational conditions.

Appendix A, Contract Paragraph 8, "Acceptance Testing For Equipment".

Phase 3 Comprehensive Test, Part 3

After "Existing Record Conversion" is completed.

(Note: This date may be coincident with the Phase 3, Part 1 test start time.)

As required.

Conduct large-scale accuracy test of the system using operational data.

Table IV.E.1.

 

System Accuracy Test description in paragraph VI.G.2.3. of this document.

Table IV.D.1. Phased Implementation Schedule (continued)

 

E.      Expected Workload and Database Size

The number of existing welfare clients who are expected to be initially enrolled into the CA SFIS database is 1,650,000; of this number, 510,000 AFIRM records will be loaded onto the CA SFIS database prior to the start of Phase 1 operation. One million (1,140,000) existing welfare clients will be added to the CA SFIS database in months 1 to 11 of system operation. The daily workload of existing client records is shown on Table IV.C.4. in the column labeled "Number of Existing Client Records Input EACH HOUR From ALL Offices In County".

In addition to the conversion of "Existing Caseload" clients, the CA SFIS must process a certain number of daily welfare applications ("Daily Applications"). After the CA SFIS has been in operation for some period of time, the "Daily Applications" will consist of welfare applications from clients who are already enrolled in the CA SFIS database ("Old" clients) and persons who are either applying for welfare for the first time or have applied for welfare in the past but have not as yet been enrolled in the CA SFIS database. In this sense, the terms "Old" and "New" refer to whether or not the client’s record is currently in the CA SFIS database.

The monthly anticipated number of "Daily Applications" from "Old" client applications, "New" client applications, additions to the database from "Existing Caseload Transactions", and the subsequent number of CLOSED and OPEN search requests per month is shown in the following (65 month) table:

Table IV.E.1. CA SFIS Workload and Database Size Per Month (65 Month Period)

Table IV.E.1. CA SFIS Workload and Database Size Per Month (65 Month Period)

 

Table IV.E.1. CA SFIS Workload and Database Size Per Month (65 Month Period)

continued

The columns of Table VI.E.1. are calculated as follows:

Month

=

the (21.75-day) month after successful completion of the Phase I System Functionality and Accuracy Test

"Old" Applications

=

applications from active welfare clients who are already in the CA SFIS database

"New" Applications

=

applications from health and welfare clients who are not current active welfare clients and have not been added to the CA SFIS database

Existing Caseload

=

transactions from active welfare clients who have been asked to report to a Welfare Office to be registered into the CA SFIS database

Database Size

=

the previous month’s Database Size plus "New" Applications for the current month plus the Existing Caseload transactions for the current month plus all "Old" Applications that failed the FILE CLEARANCE and also failed to be found in the subsequent CA SFIS OPEN SEARCH minus the records purged by the State Automated welfare System Technical Architecture (SAWS TA) system.

Total Number of CLOSED SEARCHES Per Month

=

the number of "Old" Applications in the current month minus the number of "Old" Applications that failed to produce a result in the FILE CLEARANCE (a FILE CLEARANCE "No-Hit" will result in an automatic CA SFIS OPEN SEARCH)

Number of OPEN SEARCHES Per Month

=

the number of "New" Applications in the current month plus the number of Existing Caseload transactions in the current month plus the number of "Old" Applications that failed to produce a result in the FILE CLEARANCE (a FILE CLEARANCE "No-Hit" will result in an automatic CA SFIS OPEN SEARCH)

Total Number of OPEN SEARCHES

=

Cumulative total of the Number of OPEN SEARCHES Per Month

 

The following assumptions were made in the development of Table IV.E.1.:

Table IV.E.1. is based on a LOTUS 123 (release 4) spreadsheet entitled "DB_SIZE.wk4"; this spreadsheet can be requested from the State Official listed in Section I of this RFP.

 

F.      CA SFIS Interaction With The Statewide Automated Welfare System, Technical Architecture (SAWS TA)

The Statewide Automated Welfare System Technical Architecture (herein after referred to as "SAWS TA") tracks all health and welfare recipients in the State of California. Each health and welfare recipient (or "client") is assigned a unique Statewide Client Index Number (CIN). The SAWS TA application will be connected to the HWDC Data Communications Network. The SAWS TA application will provide for translation between diverse operating system environments, and will use message queuing technology.

SAWS TA tracks individual welfare clients by a unique CIN number. Additionally, SAWS TA tracks client demographics. The CA SFIS will use the CIN number as the primary index to the CA SFIS database(s). It is expected that the CA SFIS and the SAWS TA will each track common demographic data elements for any given client. Because the SAWS TA application tracks certain classes of clients that will not be tracked on the CA SFIS database (e.g., children), the set of client records in the CA SFIS database will be a subset of the client records in the SAWS TA database. The State requires that the CA SFIS (demographic) database and the SAWS TA must be synchronized; in this context, "synchronized" means that the demographic data found on the CA SFIS will be keep current with changes made in the SAWS TA database within a few seconds of an update.

The State intends that the SAWS TA-SFIS interface will support the following functions:

1.         Provide a FILE CLEARANCE Function on any SFIS Workstation

The SFIS Workstation must provide a stand-alone application that communicates with SAWS TA (through the SFIS Central Site) and provides the functionality necessary to determine (based on demographics passed to SAWS TA) if a person is known to the Statewide Directory (i.e., if the person has an assigned CIN); this function is known as a FILE CLEARANCE.

The purpose of this function follows from the CA SFIS Proposed Workflow as shown in Diagram IV.B.1. In order to begin the CA SFIS input process, the workstation operator must first determine if an existing CIN is assigned to the client who is about to be entered for search into the CA SFIS; the operator must make this determination through the use of the FILE CLEARANCE function on the SAWS TA. If the operator determines that a CIN has not been assigned to the client, the operator must request a new, unique CIN from the SAWS TA; the CIN request function will be part of the FILE CLEARANCE functionality on the SAWS TA.

CA SFIS Workstations must be capable of performing a SAWS TA FILE CLEARANCE function because, at some locations in the State, County CA SFIS sites have no other interface to the SAWS TA.

Physically, the lines of communication for a FILE CLEARANCE are as shown in the following diagram:

Diagram IV.F.1.a.: FILE CLEARANCE Physical Communication Between SFIS Workstation and SAWS TA

Logically, the FILE CLEARANCE function on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.1.b.: FILE CLEARANCE Logical Communication Between SFIS Workstation, SAWS TA, and the SFIS Digital Image Retrieval Subsystem

The FILE CLEARANCE Request data passed to the SAWS TA will include at least the following data elements:

o        SSN

o        Name

o        DOB (date of birth)

o        Gender

o        Address

o        County /Region/Statewide (Range of Search)

o        County

o        Alien number

o        DMV ID (optional)

The FILE CLEARANCE Response data passed to the SFIS will include at least the following data elements for each record found in the SAWS TA FILE CLEARANCE:

o        Active statewide identifier (CIN)

o        Name

o        SSN

o        Alien number

o        DOB (date of birth)

o        Gender

o        Most recent county

o        Photo -on-file indicator (Y | N)

o        Photo source

o        Sources that know this person

o        Weight indicating how closely this statewide identifier matched lookup parameters

The SFIS Workstation FILE CLEARANCE Application will be designed with input/output screens to support the CA SFIS-SAWS TA FILE CLEARANCE Request/Response data listed above. Additionally, the FILE CLEARANCE Application will be designed so that, when the FILE CLEARANCE Response is received from SAWS TA, the workstation operator can select certain records in the Response list for display of SFIS photo images. After a selection of records for photo display, the SFIS will retrieve the appropriate photo images from the CA SFIS Digital Image Retrieval Subsystem and display the photos on the workstation screen. The format and design of the FILE CLEARANCE Request/Response data screens and the design of the photo image display will be determined during the System Design phase of the CA SFIS project.

 

2.         Provide an IMAGE DISPLAY Application for SFIS Workstations and County Workstations

A County Welfare Worker must be able to access and display photo images stored in the CA SFIS Digital Image Retrieval Subsystem; this access must be provided through an SFIS Workstation or through a County Workstation (running a WindowsÔ application). The IMAGE DISPLAY Application will be included in the design of the SFIS Workstation. The Contractor will supply the State with the necessary software needed to install the Image Display Application on County Workstations; County Workstations running this application will be appropriately configured with vendor-recommended operating system and display screen capabilities. The IMAGE DISPLAY Application (running on either a SFIS Workstation or a County Workstation) will communicate with the SFIS Central Site and provide the functionality necessary to retrieve photo and/or fingerprint images based on a list of CINs passed to the CA SFIS Central Site and to display the images on-screen at the workstation.

For the purpose of responding to this RFP, Bidders should assume that a County Workstation is a PC system with a 50 Mhz 486 CPU, 8MB of RAM, 15" color monitor, and at least 50 MB of available hard disk space.

Physically, the lines of communication for an IMAGE DISPLAY is as shown in the following diagram:

Diagram IV.F.2.a.: IMAGE DISPLAY Physical Communication Between SFIS Workstation or County Workstation and CA SFIS Central Site

 

Logically, the IMAGE DISPLAY function on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.2.b.: IMAGE DISPLAY Logical Communication Between SFIS Workstation, County Workstation, SAWS TA, and the SFIS Digital Image Retrieval Subsystem

The IMAGE DISPLAY Request data passed to the CA SFIS Central Site from the CA SFIS Workstation will include at least the following data elements:

o        Statewide identifier (CIN) for all photo records that must be retrieved

The IMAGE DISPLAY Response data passed to the CA SFIS Workstation from the CA SFIS Central Site will include at least the following data elements for each record found in the CA SFIS Digital Image Retrieval Subsystem:

o        Statewide identifier (CIN)

o        Status indicator of photo image

o        Photo images (in compressed format)

o        Fingerprint images (in compressed format), if requested

o        Photo Dates

The IMAGE DISPLAY Request data passed to the SAWS TA from the County Workstation will include at least the following data elements:

o        Statewide identifier (CIN) for all photo records that must be retrieved

The IMAGE DISPLAY Response data passed from SAWS TA to the County Workstation will include at least the following data elements for each record found in the CA SFIS Digital Image Retrieval Subsystem:

o        Statewide identifier (CIN)

o        Status indicator of photo image

o        Photo images (in compressed format)

o        Photo Dates

The SFIS Workstation IMAGE DISPLAY Application will be designed with input/output screens to support the SFIS Workstation-CA SFIS Central Site IMAGE DISPLAY Request/Response data listed above. The format and design of the IMAGE DISPLAY Request/Response data screens and the design of the photo image display will be determined during the System Design phase of the CA SFIS project.

The County Workstation IMAGE DISPLAY Application will be designed with input/output screens to support the County Workstation-SAWS TA IMAGE DISPLAY Request/Response data listed above. The format and design of the IMAGE DISPLAY Request/Response data screens and the design of the photo image display will be determined during the System Design phase of the CA SFIS project.

 

3.         Provide a SAWS TA DEMOGRAPHIC DATA ACCESS Application on any SFIS Workstation

A County Welfare Worker must be able to access, modify, and create demographic data stored in the SAWS TA database; this access must be provided on every SFIS Workstation. The SAWS TA DEMOGRAPHIC DATA ACCESS Application will communicate with the SAWS TA system via the CA SFIS-SAWS TA communications link and provide the functionality necessary to:

A.      Request statewide welfare person detail information including history for a given CIN

B.      Request a person’s current and most previous address for both residence and mailing

C.      Add a person to the Statewide Directory

D.      Record a new address for a person

Physically, the lines of communication for a SAWS TA DEMOGRAPHIC DATA ACCESS is the same as shown in Diagram IV.F.1.a. (FILE CLEARANCE Physical Communication Between SFIS Workstation and SAWS TA).

Logically, the SAWS TA DEMOGRAPHIC DATA ACCESS function on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.3.a.: SAWS TA DEMOGRAPHIC DATA ACCESS Logical Communication Between the SFIS Workstation and SAWS TA

The SAWS TA DEMOGRAPHIC DATA ACCESS Request data passed from the CA SFIS Workstation to the SAWS TA through the CA SFIS-SAWS TA interface will include at least the following data elements:

o        For a request for statewide welfare person detail information including history for a given CIN

§         Statewide identifier (CIN) for all photo records that must be retrieved

o        For a request of a person’s current and most previous address for both residence and mailing

§         Statewide identifier (CIN)

§         Address Selection Parameter (Welfare Only or Non-Welfare Only)

o        For a request to add a person to the Statewide Directory (Create a new client record tracked by a unique CIN)

§         Name (Mandatory)

§         DOB (date of birth) (Mandatory)

§         Gender (Mandatory)

§         County code (which county is getting this statewide identifier - generated by SFIS Workstation) (Mandatory)

§         Source making this addition (which business area or application made this request - generated by SFIS Workstation) (Mandatory)

§         SSN (Optional )

§         Alien Number (Optional)

§         DMV ID (Optional)

o        To record a new address for a person

§         Statewide identifier (CIN)

§         Address type (mailing | residence)

§         Address

§         Address start date

§         Address end date (optional)

§         Address Selection Parameter (Welfare Only or Non-Welfare Only)

§         Source of address (including Child Support and Child Welfare Services)

§         Welfare sensitive service indicator

The SAWS TA DEMOGRAPHIC DATA ACCESS Response data passed to the CA SFIS Workstation from the SAWS TA through the CA SFIS-SAWS TA interface will include at least the following data elements:

o                    In response to a request for statewide welfare person detail information including history for a given CIN:

Demographic details for one person (not restricted to welfare only)

o                    Statewide identifier (CIN)

o                    Indicator that requested statewide identifier has been merged

o                    SSN

o                    Other SSNs

o                    Alien number

o                    Other alien numbers

o                    Name

o                    Alias names and types

o                    Birth name

o                    Alias Name Source

o                    DOB (date of birth)

o                    Other DOB

o                    Birth name

o                    Birth place (Foreign Country | US state | CA county)

o                    Mother’s first name (future)

o                    Mother’s maiden name (future)

o                    Gender

o                    Photo taken date

o                    Death date (reliability factor)

o                    Other household members at this address

Restricted to Welfare information

o                    Address (residence or mailing)

o                    Overpayments indicator (Y | N)

o                    Over issuance’s indicator (Y | N)

o                    Disqualification indicator

o                    Notify County SIU indicator

o                    Case members

o                    Most recent participation history by program and aid categories

o                    Program

o                    Participation start date

o                    Participation end date

o                    Current Status

o                    Case Number

o                    County or agency

o                    Accrual Time (Total time in program [for lifetime limits])

o                    Assigned Contact (Worker Number)

o                    Assigned Contact phone number

o                    In response to a request a person’s current and most previous address for both residence and mailing

§                     Statewide identifier (CIN)

§                     Name

§                     One or more addresses

§                     Address end date

§                     Address type (Mailing and [Residence or Homeless])

§                     Source that provided the address

o                    In response to a request to add a person to the Statewide Directory (Create a new client record tracked by a unique CIN)

§                     Assigned statewide identifier

§                     Assigned statewide identifier check digit

§                     Confirmation that person has been added

o                    In response to a request to record a new address for a person

§                     Statewide identifier (CIN)

§                     Name

§                     Confirmation that changes were made

The SFIS Workstation SAWS TA DEMOGRAPHIC DATA ACCESS Application will be designed with input/output screens to support the SFIS Workstation-CA SFIS Central Site SAWS TA DEMOGRAPHIC DATA ACCESS Request/Response data listed above. The format and design of the SAWS TA DEMOGRAPHIC DATA ACCESS Request/Response data screens will be determined during the System Design phase of the CA SFIS project.

 

4.         Provide a SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface

A County Welfare Worker may modify data stored in the SAWS TA database; these data modifications must be reflected in the CA SFIS database. The SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface will communicate between the SAWS TA and the CA SFIS via the CA SFIS-SAWS TA communications link and provide the functionality necessary to change statewide person demographic information. When a County Worker changes a client’s demographic data on the SAWS TA by inputting these changes on a County Workstation that updates SAWS TA, SAWS TA will automatically send these updates to CA SFIS so that CA SFIS can update the redundant data elements that CA SFIS stores.

Physically, the lines of communication for a SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface is as shown in the following diagram:

Diagram IV.F.4.a.: SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface Physical Communication

Logically, the SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface will pass data as shown in the following diagram:

Diagram IV.F.4.a.: SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface Logical Communication

The SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Notification data passed to the CA SFIS Central Site from the SAWS TA through the CA SFIS-SAWS TA interface will include at least the following data elements:

o        For a request to change statewide person demographic information

§         Statewide identifier (CIN)

§         Data to be changed

§         SSN

§         Other SSNs

§         Alien number

§         Other alien numbers

§         Name

§         Alias names

§         DOB (date of birth)

§         Other DOB

§         Birth name

§         Birth place (foreign | US state | CA county)

§         Mother’s first name (optional core for matching)

§         Mother’s maiden name (optional confirmation for matching)

§         Gender

The SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Response data passed from the CA SFIS Central Site to the SAWS TA through the CA SFIS-SAWS TA interface will include at least the following data elements:

o        In response to a request to change statewide person demographic information

§         Statewide identifier (CIN)

§         Name

§         Confirmation that changes were made

The SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface will be designed as an automatic function to support the SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface Notification/Response data listed above. The format and design of the SAWS TA to SFIS DEMOGRAPHIC DATA UPDATE Interface Notification/Response data transactions will be determined during the System Design phase of the CA SFIS project.

 

5.         Provide a CA SFIS MERGE RECORD Function

A welfare related supervisor may discover through interviews or analysis of records that two or more records in the Statewide Directory represent one person. The supervisor will request a merge of the statewide identifiers in the Statewide Directory including fingerprints. The SAWS TA will send a transaction to the SFIS directing that two (or more) SFIS be merged under one CIN; as part of the request transaction, the SFIS will receive a list of CIN’s to be merged and the CIN number that the records must be merged under. The SFIS will perform a closed search between all pairs of records listed in the transaction to determine if all the records belong to the same individual. If any of the fingerprint records are not the same, the SFIS will report back that the merge could not be completed (ERROR condition). If all records match, the SFIS will retain the demographic data of the record that all CIN’s must be merged under and retain the best quality finger images and the latest photo image.

Physically, the lines of communication for a MERGE RECORD Function is as shown in the following diagram:

Diagram IV.F.5.a.: MERGE RECORD Function Physical Communication

Logically, the MERGE RECORD Function on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.5.b.: MERGE RECORD Function Logical Communication

The MERGE RECORD Request data passed to the CA SFIS Central Site from the SAWS TA will include at least the following data elements:

·         Statewide identifiers (CINs) of all records that must be merged

·         CIN that all records will be merged under

The MERGE RECORD Response data passed to the SAWS TA from the CA SFIS Central Site will include at least the following data elements:

·         MERGE COMPLETE indication or Error Condition preventing merge

·         Statewide identifier of the merged record

·         Photo date of the merged record

 

 

6.         Provide a FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function

If a SFIS input operator, a SFIS Central Site Validation operator, or the SFIS system (by means of an automatic image quality check) determines that

a.       one or both fingerprints are of poor quality (and the poor condition of the fingerprint[s] is a temporary problem), or

b.       one or both of the fingerprints are (temporarily) bandaged, or

c.       one of the operators determines that photo image is not representative of the client (due to bruising, bandages, etc.),

then the operator (or, as appropriate, the system) will send an indication to SAWS TA that the client must be rescheduled for another image input appointment. In turn, SAWS TA will send a notification of reschedule to the appropriate county welfare system (if the county is ‘automated’) and send a written notification of the reschedule to those counties that do not have a computerized welfare system.

Physically, the lines of communication for a FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function is as shown in the following diagram:

Diagram IV.F.6.a.: FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function Physical Communication

Logically, the FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.6.b.: FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function Logical Communication

The FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA data passed from the CA SFIS Central Site to the SAWS TA will include at least the following data elements:

o        Statewide identifier (CIN) of the client who must be rescheduled

The FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Response data passed from the SAWS TA to the CA SFIS Central Site will include at least the following data elements:

o        Statewide identifier (CIN) of the client that is rescheduled

o        Date of the reschedule appointment

The CA SFIS will track the date of the rescheduled appointment. All rescheduled appointment data will be available for system reports; the format of these reports will be determined during system design.

 

7.         Provide a SFIS SEARCH RESULT NOTIFICATION TO SAWS TA

The SFIS must report the result of all SFIS fingerprint searches to the SAWS TA.

Physically, the lines of communication for a SFIS SEARCH RESULT NOTIFICATION TO SAWS TA is as shown in the following diagram:

Diagram IV.F.7.a.: SFIS SEARCH RESULT NOTIFICATION TO SAWS TA Physical Communication

Logically, the SFIS SEARCH RESULT NOTIFICATION TO SAWS TA function on the CA SFIS Central Site system will pass data to the SAWS TA as shown in the following diagram:

Diagram IV.F.7.b.: SFIS SEARCH RESULT NOTIFICATION TO SAWS TA Logical Communication

The SFIS SEARCH RESULT NOTIFICATION TO SAWS TA data passed from the CA SFIS Central Site to the SAWS TA will include at least the following data elements:

o        Statewide identifier (CIN) of the search record

o        Search result

o        CIN(s) of CA SFIS database record(s) that matched against search record

 

The SFIS SEARCH RESULT NOTIFICATION TO SAWS TA Response data passed from the SAWS TA to the CA SFIS Central Site will include at least the following data elements:

o        SEARCH RESULT ACKNOWLEDGED

o        CIN of the search record

 

8.         Support a SAWS TA PURGE COMMAND

The SFIS will periodically receive commands to purge CA SFIS records from the SAWS TA. SAWS TA-initiated purge commands must be the only mechanism that can be used to purge a CA SFIS record from the CA SFIS database. The reason for this limitation is that the SAWS TA database and the CA SFIS database must remain in sync with each other and the SAWS TA database is the controlling database.

Physically, the lines of communication for a SAWS TA PURGE COMMAND is as shown in the following diagram:

Diagram IV.F.8.a.: SAWS TA PURGE COMMAND Physical Communication

Logically, the SAWS TA PURGE COMMAND on the SFIS Workstation will pass data as shown in the following diagram:

Diagram IV.F.8.b.: SAWS TA PURGE COMMAND Logical Communication

The SAWS TA PURGE COMMAND data passed to the CA SFIS Central Site from the SAWS TA will include at least the following data elements:

o                                                                                                                                                                                                          Statewide identifier (CIN) of the record that must be purged

The SAWS TA PURGE COMMAND Response data passed to the SAWS TA from the CA SFIS Central Site will include at least the following data elements:

o                                                                                                                                                                                                          PURGE COMPLETE MESSAGE

o                                                                                                                                                                                                          Statewide identifier (CIN) of the purged record

In response to the SAWS TA PURGE COMMAND, the CA SFIS will copy the purged record to off-line storage, delete the record from the CA SFIS database (except for the CIN), and mark the record as ‘PURGED.’ The CIN of the purged record will be retained in the CA SFIS RDBMS database along with a ‘flag’ indicating that the record has been purged, the date of purge, and the identification of the storage medium (e.g., tape number, DOD number) that the record was copied onto.

 

9.                                                                                                 Provide a CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Function

As outlined in Section IV.F.5. (FINGERPRINT IMAGING RESCHEDULE NOTIFICATION TO SAWS TA Function), the date for the rescheduled imaging appointment will be passed to the CA SFIS in the SAWS TA RESCHEDULE NOTIFICATION response. If the CA SFIS does not receive an input transaction with a CIN corresponding to the rescheduled client’s CIN at the input site listed for the rescheduled appointment, the CA SFIS must, at the close of the business day, send a transaction to SAWS TA notifying SAWS TA that the scheduled appointment was missed. This function will be initiated automatically by the CA SFIS.

Physically, the lines of communication for a CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Function is as shown in the following diagram:

Diagram IV.F.9.a.: SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Function Physical Communication

Logically, the CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Function on the CA SFIS Central Site system will pass data to the SAWS TA as shown in the following diagram:

Diagram IV.F.9.b.: CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Function Logical Communication

 

The CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA data passed from the CA SFIS Central Site to the SAWS TA will include at least the following data elements:

o        Statewide identifier (CIN) of the client who missed the rescheduled appointment

o        date of the rescheduled appointment

o        site that should have performed the rescheduled appointment

The CA SFIS APPOINTMENT MISSED NOTIFICATION TO SAWS TA Response data passed from the SAWS TA to the CA SFIS Central Site will include at least the following data elements:

o                    APPOINTMENT MISSED NOTIFICATION ACKNOWLEDGED

o                    Statewide identifier (CIN) of the client who missed the rescheduled appointment

10.       Provide a SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA

The SFIS must report to the SAWS TA a notification that SFIS records that have been restored to the CA SFIS database (as per requirement VI.E.2.).

Physically, the lines of communication for a SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA is as shown in the following diagram:

Diagram IV.F.10.a.: SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA Physical Communication

Logically, the SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA function on the CA SFIS Central Site system will pass data to the SAWS TA as shown in the following diagram:

Diagram IV.F.10.b.: SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA Logical Communication

The SFIS RECORD RESTORATION NOTIFICATION TO SAWS TA data passed from the CA SFIS Central Site to the SAWS TA will include at least the following data elements:

o        Statewide identifier (CIN) of the restored record

o        Demographics of the restored record (to the extent recorded by CA SFIS)

11.       SAWS TA as the Controlling Database

SAWS TA database is the controlling database. The SAWS TA is the master database and the SFIS is the slave containing redundant demographic data and image data. All updates to demographic data must be made on the SAWS TA first and then made on SFIS.

12.       CA SFIS-SAWS TA Interface Application

The "CA SFIS-SAWS TA Interface Application" shown in the diagrams presented in this RFP Section may be a physical piece of equipment such as a server. However, the Interface Application also may be "Middleware" software provided by the State that runs on the CA SFIS Central site. CA SFIS sends transactions to this piece of software and this software operates the transmission lines and gets the transaction over to SAWS TA.

When the CA SFIS-SAWS TA Interface Application design has been finalized by the State, the CA SFIS Contractor will be provided with the Interface Application; the State intends to have the Interface Application in operation and available to the Contractor upon Contract Award (see Section I under "Key Action Dates").

 

13.       Physical Connections Between CA SFIS, County Welfare System(s), and SAWS TA

The physical connection between the CA SFIS, the County Welfare System(s), and SAWS TA is shown in the following diagram:

 

Diagram IV.F.12. CA SFIS, County Welfare Systems, and Client Index Interface

 

 

14.       Benefits to the State

The intention of the CA SFIS-SAWS TA interface is to provide the following benefits to the State:

o        Support two-way communications necessary to ensure that both databases (SFIS and SAWS TA) are in sync with each other with regard to CIN numbers contained in both databases and that the corresponding demographic data associated with each CIN number is the same on both databases;

o        Reduce the number of OPEN identity searches on the CA SFIS by first performing a FILE CLEARANCE on the SAWS TA. A "Hit" on the FILE CLEARANCE followed by a confirming CLOSED search "Hit" on CA SFIS may obviate the need for a subsequent OPEN search on CA SFIS (see Diagram IV.B.1. [Proposed CA SFIS Workflow]);

o        Provide a "pathway" for future expansion of the CA SFIS’s ability to interface with other State databases through the SAWS TA (e.g., MEDS);

o        Provide a mechanism with which to validate and eliminate records in the SAWS TA database;

o        Support transfer of a new (unique) CIN number - delivered by the SAWS TA system - to the SFIS upon request by the SFIS;

o        Support record consolidation notices initiated from either the SFIS or the SAWS TA - record consolidations will occur whenever it is found that two (or more) CIN numbers point to the same individual;

o        Provide a pathway by which SAWS TA can initiate PURGE commands to the CA SFIS; and,

o        Provide a pathway by which the CA SFIS can inform the SAWS TA that a client record is incomplete and that the client must be rescheduled for another CA SFIS input process; this situation may arise when a client’s fingers are bandaged or are otherwise unsuitable for finger imaging (fingers temporarily unreadable). In addition, the CA SFIS will alert the SAWS TA that the client needs to be rescheduled if, in the opinion of the input operator, the current photo image is not typical of the client (e.g., bandaged face, bruised or swollen face, etc.).